of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the
business operators before the royal decree on digital asset businesses went into effect on 14 May 2018. “SEC has a duty to standardize business practices to ensure that operators are well-equipped in terms
) สามารถปรับตัวได้ภายใต้ปัจจัยการเปลี่ยนแปลง (corporate resilience) หลักปฏิบัติ 1.3 คณะกรรมการมีหน้าที่ดูแลให้กรรมการทุกคนและผู้บริหารปฏิบัติหน้าที่ด้วยความรับผิดชอบ ระมัดระวัง (duty of care) และซื่อสัตย์
) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty performance of introducing broker
investors’ rights. For example, having personnel readiness and work systems related to duty performance and establishing preventive measures and effective handling of conflicts of interest; (4
appointment of fund supervisor and in compliance with the Securities and Exchange Act B.E. 2535 (1992) as well as the duty to preserve the benefits of all unitholders. In addition, in the event of change of
). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant
company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant seeking an approval to act as a mutual fund manager shall not possess any of the
company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant seeking an approval to act as a mutual fund manager shall not possess any of the
. Interest expenses of debentures for the first quarter of 2020 were 19.30 Million Baht. In accordance with the terms and conditions of the Regulation of Rights and Duty of Debenture Issuer and Debenture